Records Management and Filing
Records management covers the life cycle of records and the systems used to store and retrieve them. The exam tests classification methods, filing equipment, indexing, retention and the shift to digital records.
Life cycle
Creation → use → maintenance → retention → disposal (destruction or transfer to archives).
Classification of records
- Alphabetical - by name; simple, self-indexing, but uneven distribution and slow with common names.
- Numerical - by number; fast expansion, good for confidentiality, but needs an index.
- Chronological - by date; suits correspondence and vouchers.
- Geographical - by region; suits sales territories.
- Subject - by topic; suits research and case files.
Filing methods
Traditional: spike, pigeonhole, box, press copy, guard book. Modern: vertical file, horizontal file, visible file, suspension file, card index. Centralised filing gives uniformity and control; departmental filing gives speed of access.
Aids to filing
Indexing (card, strip, visible), cross-reference slips, out-guides (absent cards), file covers with labels, retention schedules and periodic destruction registers.
Digital records
Scanning, document management systems, naming conventions, access rights, backups and audit trails. Electronic records must remain readable and legally admissible.
Worked example
An insurance office needs policy files retrievable by policy number and also by policyholder name. Reasoning: use numerical filing as the primary system because numbers grow without redistribution, and add an alphabetical card index as a cross-reference from name to number. A cross-reference slip handles joint policies. Retention: policy files for the policy term plus the statutory period, then review.
Traps
Claiming alphabetical filing is best for confidentiality; forgetting the index that numerical filing requires; confusing retention with disposal; ignoring cross-references for renamed or merged files.
Key points: records life cycle ends in retention or disposal; five classification methods with one merit and one limitation each; numerical needs an index; out-guides track removed files; cross-references link related files; digital records need backups and access control.